Year: 2017

The Commission has increasingly focused on anti-money laundering compliance and the filing of SARs. See, e.g., SEC v. Alpine Securities Corp., No. 1:17-cv-04179 (S.D.N.Y. Filed June 5, 2017). Earlier this year the agency filed an administrative proceeding against a broker …

SEC Settles Another AML Action Read More »

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The Commission took the relatively unusual step of issuing an Exchange Act Section 21(a) report of an investigation last week. The report addressed the question of whether tokens issued by a firm using blockchain technology were securities. Halliburton Company settled …

This Week In Securities Litigation (Week ending July 28, 2017) Read More »

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